1. [Insights](/insights/) 2. [Technology](/insights/category/technology/) 3. [What to do when staff don't follow compliance poli...](/insights/what-to-do-when-staff-don-t-follow-compliance-policies/) [Technology](/insights/category/technology/)[Opinion](/insights/category/opinion/)[AML Compliance](/insights/category/aml-compliance/)[Estate Agents](/insights/industry/estate-agents/)[Lawyers](/insights/industry/lawyers/) # What to do when staff don't follow compliance policies Published October 9, 2026 ![AML policies blog](/_next/image/?url=https%3A%2F%2Fa.storyblok.com%2Ff%2F171201%2F2450x1633%2Fb52e15d0d6%2Faml-policies-blog.JPG&w=3840&q=75) Every firm has a policy that looks good on paper but isn't followed in practice. For compliance leaders, the real frustration is what happens next, because in many firms there's little comeback when someone ignores the process. It was one of the questions raised in our recent webinar, '[Confessions of a compliance team: the workarounds we don't talk about](https://www.thirdfort.com/webinars/confessions-of-a-compliance-team-the-workarounds-we-don-t-talk-about)'. ### **Make sure the policy can actually be followed** Before treating non-compliance as a people problem, check the process itself. A procedure that's buried in an old intranet, runs to dozens of pages or asks for the same information three times will get skipped, even by well-meaning people. If it's clear and easy to follow and people still aren't doing it, that's when a firmer approach is needed. ### **Look for the pattern before the person** A little analysis up front saves a lot of difficult conversations. Is it one person, one team or a habit spreading across the firm? Who do they report to? The answers usually tell you more about the cause than any single missed step. "If someone isn't following your policies and procedures, why? Is it an individual? Is it a team? What's their experience? Who's their manager?" Catherine Prosser-Carr, Associate Director of Risk and Compliance and MLRO at Berwins From there, have an honest conversation. Be clear that this is something the firm needs from them, and ask why it isn't happening. Go in ready for any answer, because the reason is often something you can fix, like an unrealistic workload or a manager who has quietly told the team to cut corners. ### **Borrow the structure HR already uses** When support has been offered and nothing changes, the most effective firms treat it as a performance issue rather than a compliance one. If someone isn't able to meet the standard, that's a capability matter. If they're choosing not to, again and again, it's a disciplinary one. This is the step many law firms avoid, and it's often where non-compliance quietly carries on. A close relationship between compliance and HR makes a real difference, especially when HR understands the SRA principles and code of conduct well enough to see repeated non-compliance as a conduct issue. In smaller firms without HR, the same applies to whoever manages people, such as a managing partner or practice manager, so compliance isn't left to handle these conversations alone. ### **Get the partners or the board firmly behind you** None of this works without senior backing. Compliance officers often sit in the middle, passing the board's expectations down and taking the pushback coming back up. If someone doesn't like compliance's answer, they'll often ask again or go to someone more senior. When people know they'll hear the same message wherever they go, they soon stop trying. That's why it's worth having a frank conversation with your firm's partners, or board, about backing you in public, with any sensitive conversations about individuals kept private. "It's very, very hard to do your job effectively and manage that kind of behaviour if you do not have leadership support." Eloise Butterworth, founder of All Things Risk How the message is framed matters too. Presenting the process as "the way we do things here", because the firm takes its obligations seriously and wants to protect its people, lands far better than a rule to be obeyed. Handled this way, dealing with people who don't follow policies stops being a choice between being liked and being effective. It becomes a fair, consistent approach that everyone in the firm understands. ## Watch the full webinar In the full session, our panel of compliance leaders share the workarounds they see most and how they handle them. They also answer audience questions and finish with quick tips you can take back to your own firm. [Watch 'Confessions of a Compliance Team' on demand](https://www.thirdfort.com/webinars/confessions-of-a-compliance-team-the-workarounds-we-don-t-talk-about/) ## FAQs ### What should you do when staff don't follow compliance policies? --- Start by checking the policy can actually be followed, then look for a pattern across one person, one team or the whole firm. Have an honest conversation about why it isn't happening before deciding on a firmer approach. ### Why do staff ignore compliance procedures? --- Often the procedure itself is the problem. If it's buried in an old intranet, runs to dozens of pages or asks for the same information three times, even well-meaning people will skip it. An unrealistic workload or a manager who has told the team to cut corners can also be behind it. ### Can repeated non-compliance be treated as a conduct issue? --- It can. A close relationship between compliance and HR helps here, especially when HR understands the SRA principles and code of conduct well enough to see repeated non-compliance as a conduct issue. ### What if my firm doesn't have an HR team? --- The same approach applies to whoever manages people, such as a managing partner or practice manager. That way compliance isn't left to handle difficult conversations about non-compliance alone. ### Why do compliance officers need support from partners or the board? --- Compliance officers often sit in the middle, passing the board's expectations down and taking the pushback coming back up. When partners back compliance in public, people hear the same message wherever they go and soon stop looking for a different answer. ### How should compliance policies be presented to staff? --- Present the process as "the way we do things here", because the firm takes its obligations seriously and wants to protect its people. That tends to land far better than a rule people are told to obey.Present the process as "the way we do things here", because the firm takes its obligations seriously and wants to protect its people. That tends to land far better than a rule people are told to obey. ## Subscribe to our newsletter Subscribe to our monthly newsletter for recaps and recordings of our webinars, invitations for upcoming events and curated industry news. We’ll also send our guide to Digital ID Verification as a welcome gift. 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